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New Investment Accounts Review, Series 9/10 License

Great opportunity for a licensed Series 24 Principle or Series 9/10 to work for a global investment bank. This Buffalo location needs an investment professional who also has a current Series 7 and Series 65.

You will monitor new account reviews and make sure the business unit is in compliance with company and FINRA regulations. You will have interaction with sales teams, FINRA and also clients.

As part of a highly collaborative team, asking tough questions and making tough decisions is a daily occurrence. High volume and tight timelines are the norm for this fast growing global bank. The team has about 10 members with plenty of opportunity for cross training and development. It is a fun team with stability and growth.

In addition to reviewing new accounts, you will approve trade and investment suitability as well as insure anti-money laundering practices are adhered to. Ultimately you have the sign off capability and responsibility on these new accounts for the firm. You will be responsible to acquire and pass additional licenses and certification as the needs of the changing business may require.

Please email your resume and tell me 5 reasons why you make a strong fit for this role.


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